Neuberger Berman Associate General Counsel - Mutual Funds in New York, New York
Neuberger Berman, founded in 1939, is a private, independent, employee-owned investment manager. The firm manages a range of strategies—including equity, fixed income, quantitative and multi-asset class, private equity, real estate and hedge funds—on behalf of institutions, advisors and individual investors globally. With offices in 35 countries, Neuberger Berman's diverse team has 2,345 professionals. For six consecutive years, the company has been named first or second in Pensions & Investments Best Places to Work in Money Management survey (among those with 1,000 employees or more). The firm was awarded an A+ in every category in the latest 2020 Principles for Responsible Investment (PRI) report for our approach to ESG integration across asset classes. The firm manages $405 billion in client assets as of December 31, 2020.
The attorney will be an integral part of Neuberger Berman's legal department supporting approximately a $40 billion complex of funds registered under the Investment Company Act of 1940, covering multiple asset classes and strategies (equity, fixed income, quantitative, multi-asset, liquid alternatives and private equity) in open-end and closed-end fund structures.
Prepare and/or review mutual fund regulatory documents, including registration statements and supplements thereto, financial statements and proxy statements; manage annual registration statement update process for open-end funds and coordinate with outside counsel, administrative and operations departments, portfolio managers and independent fund auditors;
Advise senior management, portfolio managers, marketing and sales personnel in developing, structuring and launching new funds and products;
Prepare and present board and committee meeting materials;
Review and advise on fund marketing materials and other client communications;
Provide advice and legal research regarding regulatory matters and all aspects of Neuberger Berman’s products and services with primary emphasis on the Investment Advisers Act, Investment Company Act, Securities Exchange Act of 1934, Securities Act of 1933 Act and Stock Exchange Listing Rules and Regulations;
Provide proactive and situation specific advice on individual transactions, contracts and projects including development and review of firm policies and procedures; and
Adapt and adjust job responsibilities to accommodate changing priorities while managing multiple requirements and timelines.
Bachelor’s degree and JD required;
Member of New York state bar (or the ability to waive in);
Experience in investment management law and practice, with a preference for registered fund experience from an in-house legal department, law firm or the SEC;
Appropriate knowledge of and experience with the federal securities laws, with an emphasis on the Investment Company Act of 1940 and the asset management industry;
Helpful to have experience with securities transactional work, including private placements;
Strong communication skills, both written and verbal;
Self-starter, strong work ethic; ability to connect and engage with the business; ability to be a good representative for the legal department and the firm.
Neuberger Berman is an equal opportunity/affirmative action employer. The Firm and its affiliates do not discriminate in employment because of race, creed, national origin, religion, age, color, sex, marital status, sexual orientation, gender identity, disability, citizenship status or protected veteran status, or any other characteristic protected by local, state, or federal laws, rules, or regulations. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact firstname.lastname@example.org .
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Founded in 1939, Neuberger Berman is a private, independent, employee-owned investment manager. From offices in 23 countries worldwide, the firm manages $405 billion in client assets (as of December 31, 2020) across a range of strategies—including equity, fixed income, quantitative and multi-asset class, private equity and hedge funds—on behalf of institutions, advisors and individual investors globally.
Tenured, stable and long-term in focus, the firm has built a diverse team—including 600-plus investment professionals and more than 2,300 employees in total—united in their commitment to delivering client outcomes and investment excellence. It is our people who define our culture and have enabled us to be recognized by Pensions & Investments as the first or second "Best Place to Work in Money Management” for last five consecutive years (firms with 1,000+ employees).
EQUITY, INCLUSION & DIVERSITY
Neuberger Berman strongly embraces the principles of Equity, Inclusion and Diversity (“EID”) — they are deeply engrained in our culture and are a fundamental part of our long-term business strategy. We firmly believe in fostering an environment, in which all of our people are respected and have an equitable opportunity to flourish and be their best selves. We believe having a diversity of perspectives strengthens our ability to deliver attractive outcomes for our clients and makes us a better organization.
Empowering is about our people having a voice and the ability and autonomy to contribute materially to the firm. As an employee-owned firm, we lean heavily on employee feedback and guidance, including through a series of surveys (e.g., our anonymous employee engagement survey and topic specific pulse surveys). We also provide many opportunities to contribute outside of the day-to-day, including through cross functional committees and firm-wide projects.
Developing is about our people having the resources, tools, and experiences to grow professionally and personally. As part of this, our colleagues and managers can leverage a broad array of offerings on our HCM Learning platform as part of a personalized career path plan that focuses intently on individual circumstances and objectives.
Supporting is about our people having the opportunity to be themselves, connect within NB and live a balanced life. Our Employee Resource Groups help to drive a greater sense of fellowship and build stronger connections across our firm. Through NB Wellness, NB Impacts (philanthropy) and Employee Investment Solutions (financial wellness), we take a holistic approach to ensure our colleagues have the resources they need to realize their personal goals.
Our people and our culture are our greatest assets. We remain deeply committed to our EID values and to ensuring Neuberger Berman remains a best-in-class place to work.
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